BTAI

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · derivative · entry 9

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,000

Underlying: Common Stock · 25,889 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: The options are fully vested and exercisable.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 6

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F5 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.90 to $23.04. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 5

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F4 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.90 to $22.89. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 4

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,889

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · derivative · entry 8

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,889

Underlying: Common Stock · 34,111 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_date: The options are fully vested and exercisable.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 3

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $22.0367 to $22.42. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 2

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,821

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F2 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $21.03 to $22.0263. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-23-001945 · tm232491-1_4seq1.xml · nonDerivative · entry 1

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,111

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · derivative · entry 10

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,000

Underlying: Common Stock · 30,000 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: The option is fully vested and exercisable.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 6

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,957

F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1.

F3 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.58 to $20.16, inclusive.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 5

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,844

F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1.

F3 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.57 to $19.54, inclusive.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 4

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,957

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · derivative · entry 9

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,000

Underlying: Common Stock · 30,000 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F8 · derivative.exercise_date: The option is fully vested and exercisable.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 3

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,957

F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1.

F3 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.13 to $20.29, inclusive.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,163

F1 · kind: The sales reported in this Form 4 were effected pursuant to a plan that complies with Rule 10b5-1.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.13 to $20.12, inclusive.

F3 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001104659-22-128367 · tm2233011-1_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,957

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-23-021767 · tm236671-1_5seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,546,750

F1 · shares: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.7% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F1 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.7% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-23-021791 · tm236671-2_5seq1.xml · nonDerivative · entry 3

Nandabalan Krishnan · CIK 0001733387 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,546,750

F3 · shares: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and indirect stockholder of Parent. On the transaction date, the Reporting Person's spouse receieved by gift shares of Parent representing a 3.4% economic interest in the shares of Issuer that are held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F3 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and indirect stockholder of Parent. On the transaction date, the Reporting Person's spouse receieved by gift shares of Parent representing a 3.4% economic interest in the shares of Issuer that are held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-23-021791 · tm236671-2_5seq1.xml · nonDerivative · entry 2

Nandabalan Krishnan · CIK 0001733387 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,546,750

F2 · shares: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent to his spouse representing an approximate 3.4% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of Parent. The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent to his spouse representing an approximate 3.4% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-23-021791 · tm236671-2_5seq1.xml · nonDerivative · entry 1

Nandabalan Krishnan · CIK 0001733387 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,546,750

F1 · shares: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.7% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F1 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. On the transaction date, the Reporting Person gifted shares of Parent representing an approximate 1.7% economic interest in the shares of Issuer that are held of record by BioXcel LLC. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · derivative · entry 7

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,000

Underlying: Common Stock · 32,550 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The options are fully vested and exercisable

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · nonDerivative · entry 4

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F3 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.03. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · nonDerivative · entry 3

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,550

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · derivative · entry 6

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 446,550

Underlying: Common Stock · 27,450 shares

Expires 2027-08-23

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The options are fully vested and exercisable

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · nonDerivative · entry 2

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sale reported in this Form 4 was effected pursuant to a plan that complies with Rule 10b5-1.

F2 · price: The price reported is a weighted average price. The securities were sold in multiple transactions at per share prices ranging from $15.00 to $15.01. The Reporting Person undertakes to provide upon request the SEC staff, the Issuer, or any shareholder of the Issuer, full information regarding the number of securities sold at each separate price within the range set forth in this footnote.

SEC source: 0001104659-22-118836 · tm2230464-1_4seq1.xml · nonDerivative · entry 1

Nandabalan Krishnan · CIK 0001733387 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,450

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001104659-22-077473 · tm2220442-1_4seq1.xml · derivative · entry 1

MILLER MICHAEL PATRICK · CIK 0001236514 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-07-01

F1 · derivative.exercise_date: The option vests and becomes exercisable in three substantially equal annual installments following the date of grant, subject to the Reporting Person's continued service through each vesting date.

SEC source: 0001104659-22-063972 · tm2216669-3_4seq1.xml · derivative · entry 1

MUELLER PETER · CIK 0001256126 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2032-05-19

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-22-063971 · tm2216669-2_4seq.xml · derivative · entry 2

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,000 shares

Expires 2032-05-19

F1 · kind: The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein.

F2 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-22-063971 · tm2216669-2_4seq.xml · derivative · entry 1

Votruba Michal · CIK 0001653967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2032-05-19

F1 · kind: The Reporting Person immediately and automatically assigned these stock options to RSJ Investments SICAV a.s. acting in respect of its sub-fund RSJ Gradus podfund ("RSJ") pursuant to the policies of RSJ regarding stock ownership by its employees, as documented by an Agreement between the Reporting Person and RSJ. The Reporting Person does not beneficially own any of the securities reported herein.

F2 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-22-063973 · tm2216669-4_4seq1.xml · derivative · entry 1

Bray June · CIK 0001845487 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2032-05-19

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-22-063970 · tm2216669-1_4seq1.xml · derivative · entry 1

Laumas Sandeep · CIK 0001721664 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2032-05-19

F1 · derivative.exercise_date: The option shall vest and become exercisable on the earlier of the first anniversary of the date of grant or the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant, in either case, subject to the Reporting Person's continuing in service as a non-employee director through such vesting date.

SEC source: 0001104659-22-061920 · tm2215808-3_4seq1.xml · derivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-061919 · tm2215808-2_4seq1.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Senior VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-061918 · tm2215808-1_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.exercise_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F1 · derivative.expiration_date: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs will vest and settle on May 14, 2023, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034497 · tm229449-3_4seq1.xml · derivative · entry 2

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,000

Underlying: Common Stock · 167,000 shares

Expires 2032-03-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034497 · tm229449-3_4seq1.xml · derivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,750

Underlying: Common Stock · 41,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034508 · tm229449-5_4seq1.xml · derivative · entry 1

O'Neill Vincent · CIK 0001672718 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,337

Underlying: Common Stock · 8,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034488 · tm229449-2_4seq1.xml · derivative · entry 2

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,350

Underlying: Common Stock · 33,350 shares

Expires 2032-03-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034488 · tm229449-2_4seq1.xml · derivative · entry 1

Steinhart Richard I · CIK 0001293789 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,337

Underlying: Common Stock · 8,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034503 · tm229449-4_4seq1.xml · derivative · entry 2

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,350

Underlying: Common Stock · 33,350 shares

Expires 2032-03-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034503 · tm229449-4_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,337

Underlying: Common Stock · 8,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034484 · tm229449-1_4seq1.xml · derivative · entry 2

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,350

Underlying: Common Stock · 33,350 shares

Expires 2032-03-14

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of March 14, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-034484 · tm229449-1_4seq1.xml · derivative · entry 1

Yocca Frank · CIK 0001733272 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,337

Underlying: Common Stock · 8,337 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2 · derivative.exercise_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

F2 · derivative.expiration_date: The RSUs will vest and settle as to 25% of the total number of RSUs on the first anniversary of March 14, 2022 and as to 6.25% of the total number of Restricted Stock Units at the end of each successive three-month period thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-22-005451 · tm223835-2_4seq1.xml · derivative · entry 1

Wiley Matthew T. · CIK 0001759703 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2032-01-16

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of January 17, 2022 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-21-107405 · tm2125392-1_4seq1.xml · derivative · entry 1

Kane William P Jr · CIK 0001813937 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-08-16

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of August 16, 2021 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person'scontinuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-21-107407 · tm2125392-2_4seq1.xml · derivative · entry 1

Rodriguez Javier · CIK 0001847919 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-08-16

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on the first anniversary of August 16, 2021 and the remaining 75% of the underlying shares in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous employment with the Issuer through the relevant vesting dates.

SEC source: 0001104659-21-086943 · tm2119762-6_4seq1.xml · nonDerivative · entry 1

BioXcel Holdings, Inc. · CIK 0001811154 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,546,750

F1 · kind: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F1 · price: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F2 · balance_after: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of the Reporting Person. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F1 · ownership.nature: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of the Reporting Person. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-21-086948 · tm2119762-9_4seq1.xml · nonDerivative · entry 1

Mehta Vimal · CIK 0001733369 · Director · CEO, President and Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 8,546,750

F1 · kind: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F1 · price: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F2 · balance_after: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

F1 · ownership.nature: On June 25, 2021, BioXcel LLC sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70. The reported sale price reflects the price at which BioXcel LLC sold shares to the underwriters after underwriting discounts and commissions.

F2 · ownership.nature: These securities are held of record by BioXcel LLC. BioXcel LLC is a subsidiary of BioXcel Holdings, Inc. ("Parent"). The Reporting Person is a manager and officer of BioXcel LLC and is a director, officer and stockholder of Parent. By virtue of these relationships, the Reporting Person may be deemed to be the beneficial owner of the securities held of record by BioXcel LLC. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for the purpose of Section 16 or for any other purpose.

SEC source: 0001104659-21-086944 · tm2119762-7_4seq1.xml · nonDerivative · entry 1

BioXcel LLC · CIK 0001651990 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,546,750

F1 · kind: On June 25, 2021, the Reporting Person sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70 per share . The reported sale price reflects the price at which the Reporting Person sold shares to the underwriters after underwriting discounts and commissions.

F1 · price: On June 25, 2021, the Reporting Person sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70 per share . The reported sale price reflects the price at which the Reporting Person sold shares to the underwriters after underwriting discounts and commissions.

F1 · balance_after: On June 25, 2021, the Reporting Person sold 473,250 shares of common stock of the Issuer as a selling stockholder in an underwritten public secondary offering at a price to the public of $31.70 per share . The reported sale price reflects the price at which the Reporting Person sold shares to the underwriters after underwriting discounts and commissions.